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Showing 921 to 930 of 1228 search results for Occasional papers First published.

  1. Effective compliance with the Market Abuse Regulation – a state of mind

    Speeches Published: 14/11/2017 Last modified: 15/11/2017
    Speeches First published:. 14/11/2017. Last updated: 15/11/2017. Share page. ... My first observation may surprise you. I have come to the conclusion that at its most effective, compliance with MAR is a state of mind.

  2. Building societies: Facing the challenges and opportunities head on

    Speeches Published: 19/05/2016 Last modified: 19/05/2016
    Speech by Jonathan Davidson, Director of Supervision – retail and authorisations at the FCA, delivered at the Building Societies Association Annual Conference on 19 May 2016, in Gateshead.

  3. CP16/7: Payment Accounts Regulations 2015 - draft Handbook changes and draft guidance

    Consultation papers Published: 02/03/2016 Last modified: 02/03/2016
    Consultation papers First published:. 02/03/2016. Last updated: 02/03/2016. Share page.

  4. CP24/4: Further consultation on the regulatory framework for pensions dashboard service firms

    Consultation papers Published: 27/03/2024 Last modified: 27/03/2024
    We are consulting on new guidance for firms undertaking this new activity and 2 changes to the rules we originally proposed in CP22/5.

  5. PS15/14: Restrictions on the retail distribution of regulatory capital instruments

    Policy statements Published: 12/06/2015 Last modified: 12/06/2015
    In this paper we set out the rules we are implementing following our consultation on restrictions on the retail distribution of regulatory capital instruments (contingent convertible securities (CoCos) and mutual society shares).

  6. DP15/3: Developing our approach to implementing MiFID II conduct of business and organisational requirements

    Discussion papers Published: 26/03/2015 Last modified: 03/11/2016
    Discussion papers First published:. 26/03/2015. Last updated: 03/11/2016. Share page. ... We will provide feedback from this paper, where relevant, in our consultation paper.

  7. CP15/27: UCITS V implementation and other changes to the Handbook affecting investment funds

    Consultation papers Published: 03/09/2015 Last modified: 18/01/2017
    Consultation papers First published:. 03/09/2015. Last updated: 18/01/2017. Share page. ... This paper will interest:. UCITS management companies, AIFMs and depositaries of UCITS and AIFs (including ELTIFs).

  8. CP15/5: Approach to non-executive directors in banking and Solvency II firms & Application of the presumption of responsibility to Senior Managers in banking firms

    Consultation papers Published: 23/02/2015 Last modified: 14/09/2015
    Consultation papers First published:. 23/02/2015. Last updated: 14/09/2015. Share page. ... This paper affects relevant authorised persons and Solvency II firms. This paper does not affect insurance firms that are not subject to the Solvency II directive

  9. CP17/38: Regulatory fees and levies: policy proposals for 2018/19

    Consultation papers Published: 13/11/2017 Last modified: 20/02/2018
    This consultation paper (CP) sets out our proposed policy changes on how FCA fees will be raised from 2018/19.

  10. TR14/9 - Commercial insurance intermediaries - conflicts of interest and intermediary remuneration

    Thematic reviews Published: 27/05/2014 Last modified: 27/05/2014
    Thematic reviews First published:. 27/05/2014. Last updated: 27/05/2014. Share page.